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The Senior Managers and Certification Regime (SMCR)

The Senior Managers and Certification Regime - SMCR

We recognise that SMCR implementation looks very different depending on the nature and size of your firm and/or what role(s) and responsibilities you will individually have. 

We can advise on all elements of SMCR implementation and operation, including:

  • scoping Senior Manager and Certified Person populations;
  • papering necessary Statements of Responsibilities, job descriptions, amended employment contracts, amended policies and procedures and sense-checking and advising on governance structures;
  • providing guidance notes on key elements of SMCR with members of our team on standby to address any specific questions;
  • providing a comprehensive suite of template documents that can be adapted by clients for their use as required across each of the elements of SMCR;
  • providing training materials and provision of active training sessions for Senior Managers, Certified Persons and Code of Conduct staff;
  • advising on the ever increasing intersection of employment law and conduct risk from a regulatory perspective, including reputational protection and executive remuneration consequences and structuring;
  • providing bespoke advisory services to individual Senior Managers about ensuring they comply with their Duty of Responsibility and protecting their reputations in the face of heightened personal accountability; and
  • drawing on and incorporating advice and assistance from our specialist practitioners in Brand Management; Reputation Management; White-Collar Defence; and Investigations.

For more information please contact our SMCR team.

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